Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
August 2015
Topics include
New Rules, Proposed Rules and Guidance
- SEC Issues No-Action Letter Permitting a Fund-of-Funds to Invest in Assets that May Not Be Deemed Securities
- Division of Investment Management Issues Guidance on Personal Trade Reporting of Accounts Over Which Access Persons Have No Influence or Control
- SEC Requests Public Comment on the Listing, Trading and Selling of Exchange- Traded Products
- SEC Proposes Rules to Modernize and Enhance Investment Company and Investment Adviser Reporting
- FINRA Issues Interpretive Letter on Related Performance Information
Litigation and Enforcement Actions
- U.S. District Court Denies Motion to Dismiss Excessive Fee Case Against SEI Investments
- FINRA Sanctions Wells Fargo, Raymond James and LPL Financial for Failing to Identify and Apply Mutual Fund Sales Charge Waivers Available for Certain Retirement Accounts and Charitable Organizations
- SEC Settles Charges Against Auditor, Fund Administrator and Trustee in Connection with Auditor-Trustee Relationship
- SEC Settles Charges Against Mutual Fund Board Members, Investment Adviser and Administrator in connection with Advisory Contract Approval and Disclosure Process
- U.S. Supreme Court Allows Plaintiffs in 401(k) Plan Case to Pursue Breach of Fiduciary Duty Claims Under Continuing Duty Theory
- SEC Settles Charges Against Nationwide Life Insurance Company For Failing to Process Purchase and Redemption Orders In Compliance with the 1940 Act
Other News and Developments
- IRS Identifies Certain Basket Derivatives as Reportable Transactions
To read the Regulatory Update, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
August 2015
Reader View
Topics include
New Rules, Proposed Rules and Guidance
- SEC Issues No-Action Letter Permitting a Fund-of-Funds to Invest in Assets that May Not Be Deemed Securities
- Division of Investment Management Issues Guidance on Personal Trade Reporting of Accounts Over Which Access Persons Have No Influence or Control
- SEC Requests Public Comment on the Listing, Trading and Selling of Exchange- Traded Products
- SEC Proposes Rules to Modernize and Enhance Investment Company and Investment Adviser Reporting
- FINRA Issues Interpretive Letter on Related Performance Information
Litigation and Enforcement Actions
- U.S. District Court Denies Motion to Dismiss Excessive Fee Case Against SEI Investments
- FINRA Sanctions Wells Fargo, Raymond James and LPL Financial for Failing to Identify and Apply Mutual Fund Sales Charge Waivers Available for Certain Retirement Accounts and Charitable Organizations
- SEC Settles Charges Against Auditor, Fund Administrator and Trustee in Connection with Auditor-Trustee Relationship
- SEC Settles Charges Against Mutual Fund Board Members, Investment Adviser and Administrator in connection with Advisory Contract Approval and Disclosure Process
- U.S. Supreme Court Allows Plaintiffs in 401(k) Plan Case to Pursue Breach of Fiduciary Duty Claims Under Continuing Duty Theory
- SEC Settles Charges Against Nationwide Life Insurance Company For Failing to Process Purchase and Redemption Orders In Compliance with the 1940 Act
Other News and Developments
- IRS Identifies Certain Basket Derivatives as Reportable Transactions
To read the Regulatory Update, click the link below.
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